The RoleTo take the lead role in the Compliance Function for a fast-growing financial services business. There will be several related businesses which operate under the direction of the MD.As Compliance Manager, you will report directly to the Compliance Officer and you will be responsible for the following: -The systems and controls in place to ensure that the company complies with the requirements of the FCA.The systems and controls ensure that advice is within the example guidance.The review of all advisory reports which relate to high risk investments.Review of client feedback and dealing with complaints raised by clients in accordance with the FCA Complaints Handling rules.Review and approval of financial promotions material in accordance with FCA guidelinesLiaison with the advisers regarding file reviews and addressing any findings arising from them.Provide general and case specific compliance support to advisersMaintain Training & Competence Scheme for all employeesMoney-Laundering officer Review data security policyAdviser One to OneQuarterly Wrap Platform & Investment Proposition ReviewEnsure relevant staff attend sufficient CPD training and their CPD log is kept up to date

Experience & SkillsMinimum of 3 years’ financial services experience as a Compliance Manager ideally within an advisory firmExperience of supervision of Pension Switching businessEnthusiasm to grow with business in an ambitious companyIdeally Diploma Qualified (or equivalent) and would preferably have AF3 or G60